NASD’s Enforcement Chief to Step Down
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Barry Goldsmith, enforcement chief of brokerage regulator NASD, will step down in mid-March to return to private law practice, and his deputy was named as his acting replacement, NASD said Wednesday.
Goldsmith, 56, will become a partner at law firm Gibson Dunn & Crutcher in Washington, the regulator said.
He joined NASD, then known as the National Assn. of Securities Dealers, in 1996. As enforcement chief, he led investigations into initial public stock offerings by big securities dealers and conflicts of interest involving research analysts, as well as mutual fund and hedge fund misconduct.
James Shorris, NASD deputy enforcement chief, was named acting enforcement chief.
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